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Showing 51 - 60 of 100+ results for "Financial Adviser Register"

ASIC bans former Godfrey Pembroke adviser

HARRISON WORLEY  |  THURSDAY, 30 JAN 2020
... Tribunal for a stay of the banning order. The application was dismissed by the AAT on January 23. ASIC's Financial Adviser Register shows Cassidy worked for Godfrey Pembroke for almost eight years, having joined the firm in 2011. After leaving in December ...

ASIC bans former Charter, NAB adviser

KANIKA SOOD  |  WEDNESDAY, 8 JAN 2020
... 2016. O'Brien is a member of the Financial Planning Association of Australia, according to the ASIC Financial Adviser Register. "The FPA has already taken disciplinary action, Mr David Allen O'Brien's membership of the FPA was terminated on 20 December ...

SMSF adviser hit with ban

ELIZABETH MCARTHUR  |  MONDAY, 6 JAN 2020
... Fund. He failed to disclose those conflicts of interest in statements of advice to clients. The ASIC Financial Adviser Register shows Blazejczyk is a member of the SMSF Association, the Association of Independently Owned Financial Professionals and the ...

YBR exits wealth, sells for $2.5 million

ELIZABETH MCARTHUR  |  MONDAY, 6 JAN 2020
... advisers of Interprac (which holds an AFSL within the Sequoia Group). Rainmaker analysis of the ASIC Financial Adviser Register shows that YBR had 58 advisers in the middle of December and that number has not yet changed following the announcement of ...

What you read in 2019: Financial advice

JAMIE WILLIAMSON  |  THURSDAY, 19 DEC 2019
... grew significantly in a rather short amount of time. According to Rainmaker analysis of ASIC's Financial Adviser Register, SMSF Advisers Network has 1043 advisers on its books, as at April 2019. It had added 219 advisers in just 12 months. 4. Westpac ...

Half of all AFSL applications approved

ELIZABETH MCARTHUR  |  MONDAY, 16 DEC 2019
... understand their obligations. Meanwhile, ASIC is also reminding AFSLs who have not yet updated the Financial Adviser Register that they need to add new details about their financial advisers by 1 January 2020. New information on advisers is required ...

Integration of super advice business completes

ELIZABETH MCARTHUR  |  WEDNESDAY, 11 DEC 2019
... integration of StatePlus into $77 billion industry fund First State Super is being tied up. The ASIC Financial Adviser Register showed hundreds of StatePlus financial advisers as 'ceased' earlier this week. This was an administrative action as StatePlus ...

Elders FP to shutter

JAMIE WILLIAMSON  |  TUESDAY, 10 DEC 2019
... phased wind down of its business," the spokesperson said. According to Rainmaker analysis of the ASIC Financial Adviser Register, Elders is currently home to 59 advisers. The advisers are expected to transition to other licensees, with most likely to ...

FASEA exam tips from those who passed

ELIZABETH MCARTHUR  |  THURSDAY, 28 NOV 2019
... an upcoming session, Glenfield explained that accounts for about one quarter of the advisers on ASIC Financial Adviser Register. Newton provided some practical insights for undertaking not only the exam but the ethics course. She shared that the assignments ...

Continued calls for code compliance extension

ELIZABETH MCARTHUR  |  THURSDAY, 21 NOV 2019
... financial planners were registered with a code monitoring body, and that registration was recorded on the financial adviser register before the end of the year." However, he said it's important to be clear compliance with the code will still be necessary ...